Texas Board of Professional Engineers Professional Practice Update / Ethics

Texas Board of Professional Engineers Professional Practice Update / Ethics David Howell, P.E. Deputy Executive Director August 2015 http://engineers.texas.gov/outreachsurvey

Website and Social Media http://engineers.texas.gov Facebook: Texas Board of Professional Engineers Twitter: TBPE_Exec LinkedIn: Texas Board of Professional Engineers RSS Feed on our website: http://engineers.texas.gov YouTube: https://www.youtube.com/ channel/ucm0ytnjr3stvebxwhct4mia

PROFESSIONAL ENGINEER BOARD PRIMARY FUNCTIONS Licensing Qualified Engineers Enforcement of Engineering Practice Act Requiring Continuing Education Educate PEs, Officials, Potential PEs, Public

TBPE Nine Members - Appointed by Governor 6 Licensed Professional Engineers 3 Public Members Standard term is 6 years

TBPE Daniel O. Wong, PE, PhD. Chairman - Houston Carry Ann Baker, JD (public member) Amarillo Lamberto Bobby Balli, PE San Antonio Edward Summers, PhD (public member) Austin

TBPE James Greer, PE Dallas Elvira Reyna (public member) Denton County Sockalingham Sam Kannappan, PE Baytown Sina K. Nejad, PE, PEng Beaumont Kyle Womack, PE Midland

TBPE STAFF 31 Staff members, Austin Lance Kinney, PE Executive Director CW Clark, PE - Compliance & Enforcement Robert Opiela, PE - Licensing Jeff Mutscher - Finance Janet Sobieski - Information Technology

PROFESSIONAL ENGINEER EXPECTATIONS Protection of the Public Ethical Competent Initial Qualifications Staying Current Professionalism

Publicly Recognized Honesty (Gallup Poll Nov. 2012) Nurses Pharmacists Doctors Engineers Dentists Police Officers College Professors Clergy

Publicly Recognized Harris Poll (2014) Most Prestigious Professions Doctor Military Officer Firefighter Scientist Nurse Engineer

Professionalism More than just Codes and Rules Meticulous adherence to undeviating courtesy, honesty, and responsibility in one's dealings with customers and associates, plus a level of excellence that goes over and above the commercial considerations and legal requirements. http://www.businessdictionary.com

Professionalism Chapter 137 Subchapter C Professional Conduct and Ethics 137.53 - Engineer Standards of Compliance with Professional Services Procurement Act 137.55 - Engineers Shall Protect the Public 137.57 - Engineers Shall be Objective and Truthful 137.59 - Engineers Actions Shall Be Competent 137.61 - Engineers Shall Maintain Confidentiality of Clients 137.63 - Engineers Responsibility to the Profession

Professionalism 137.57 - Engineers Shall be Objective and Truthful Avoid Misleading, Fraudulent, and Deceitful Actions Avoid Conflicts of Interest 137.61 - Engineers Shall Maintain Confidentiality of Clients 137.63 - Engineers Responsibility to the Profession Be a Faithful Agent for Employers or Clients Guide the Actions of Others related to Law and Rules Conduct Business in a Respectful Manner (billing, language, etc.) Do Not Injure Professional Reputation of Others Do Not Retaliate

Professionalism It is one of the primary obligations of the Texas Board of Professional Engineers to assure that Texas engineers are held to the highest standards of competency, integrity, and honesty. Public safety depends upon that standard and consistently achieving in our profession requires faithful and unwavering practice of honesty and integrity in all aspects of our lives not only when we sit at our desk. - Received from a Texas PE in a reference statement letter

Professionalism Ethical Behavior 59,000 licensed PEs ~750 Cases opened 70% resolved with Voluntary Compliance 12% Dismissed Board action includes range of action up to revocation Responsibility to Protect the Public

Professionalism scenario You are a licensed PE working for a Registered Firm. You have been asked by a client to review the completed work of another Engineer. The work you are reviewing was completed by a competing Firm.

Professionalism True or False? You are required to notify the design engineer and firm of your review. False. You were asked by a client to review the documents. There is no notification obligation of the review to the other engineer for review.

Professionalism scenario In your review, you find technical errors that are a result of the design engineer applying the wrong set of codes. You prepare a report for the client and send it to them directly.

Professional Obligation which of these in NOT correct or appropriate? A. Write your report addressing technical design issues with the basis for findings. B. Include information about why the design engineer was incompetent and should have known better. C. Provide a copy of your report to the design engineer s supervisor so that he or she can be corrected. D. File a complaint against the design engineer with the PE Board for incompetence. E. All of the above.

Answers B and C are not good choices Not B: The official report to the client is not the appropriate place to address the design engineer. Not C: The design engineer s supervisor would not be considered to be an involved party with the responsibility to resolve the issue. If there were no apparent threats to public safety, there is no obligation to send a copy to the original firm.

Professionalism Related to Answer D: True or False? You are required to file a complaint with the PE Board in all cases. False. The Board will pursue any complaint filed. PEs are obligated to notify involved parties of engineering issues that could harm the public and to file a complaint if the issue is not resolved or when the threat to the public is imminent.

Professionalism Discretion The TBPE does not expect you to file a complaint in all cases. Things to consider: Threat to the public Protection of the public is a primary responsibility Inability to reach resolution You notify the designer and he or she is unable or unwilling to resolve Being a Faithful Agent You may have contractual obligations regarding disclosure

Filing A Complaint Mail, email, phone, facsimile all are acceptable for initial contact Anonymous complaints are accepted A complaint form or detailed letter/email is needed to cover all the bases Forms can be found Online Provide specific instances of violation Provide evidence to show probable cause

Enforcement Sanctions Reprimands (Formal and Informal) Suspension (possible probation) Refuse to Renew Revocation $5,000 per violation per day Cease and Desist Orders Emergency Suspension

Violations are Published By law, all violations, except informal reprimands, must be published On TBPE website by Board Meeting Date Added to NCEES Enforcement Exchange (national database) Published in the newsletter which is mailed at least annually and quarterly E-newsletter emails

Outreach What is a P.E.? / What do they do? Public Perception The Value of Licensure How does the TBPE fit in?

Outreach Publication General Engineering for a Better Texas Agency overview and history

History of TBPE Created by Texas Legislature (45R) in 1937 New London School Explosion 300 students and teachers killed Result of improperly designed mechanical and electrical devices Established a Board to regulate the practice of engineering through licensing and rules of practice

1937

Working with Government Government Advisory Group State agencies, Cities, Counties, School Districts TBPE Outreach Building Officials Texas Municipal League, etc. What we can do for them When PE is required on projects / public works Better understanding of State Laws The role of a Professional Engineer

Outreach Publication Government When is a Professional Engineer required on a project? Flowchart to assist building and Code compliance officials.

Plan Revision scenario Original plans for a building design, signed, sealed and dated. Errors noted during construction require revision to plan. Only a section of the plan requires revision. Returned to you as the original design engineer.

What is Required? A. Make the revisions on the originally dated sheets using clouding. Re-dating and other notations are not required. B. Create a completely new document. C. Leave the original document as it was, but create a separate appendix document with a new date. D. Make the revisions on the existing document with clear revision notations and a revision date. E. None of the above.

And the best answer is? B or D (depending on the extent of the revisions) Final documents need to be correct, dated, sealed. Rule 137.33(a) The purpose of the engineer s seal is to assure the user of the engineering product that the work has been performed or directly supervised by the professional engineer named and to delineate the scope of the engineer s work.

A Twist You, the design PE, left the Firm and went to work for another Firm. The original Firm wants you to revise your plans using their Firm name and number on the plans. Can you do that??? Yes. If the original Firm and your current Firm are in agreement and all parties are notified in writing so there is no potential conflict of interest.

Another Twist If the PE is not available to revise his work, what do you do? 133.33(i) A license holder, as a third party, may alter, complete, correct, revise, or add to the work of another license holder when engaged to do so by a client, provided: (1) the client furnishes the documentation of such work submitted to the client by the first license holder; (2) the first license holder is notified in writing by the second license holder of the engagement immediately upon acceptance of the engagement; and (3) any work altered, completed, corrected, revised, or added to shall have a seal affixed by the second license holder. The second license holder then becomes responsible for any alterations, additions or deletions to the original design including any effect or impact of those changes on the original license holder s design.

Plan Review scenario You are a PE working for a city in the Code Compliance Department reviewing plans. You receive plans from an Engineer/Architect firm that is the lead firm for a new building design. The submitted plans include sealed plans from various engineering firms related to structural, mechanical and electrical designs.

Plan Review The submitted structural and mechanical plans seem to meet code, but the electrical plans have some code issues. You know the E/A firm from previous work, but the electrical engineering firm is new to the state.

Plan Review True or False? You are required to reject the plans and file a complaint with the PE Board. False. Not in all cases, but there are times when filing a complaint is warranted. TBPE doesn t set policy and procedures for local officials, but plans should not be approved. Notify the engineer or Firm directly. Repeated or egregious issues reported to the Board. We have an overarching obligation to protect the public.

A Twist How does the answer change if the compliance reviewer is not a PE? The answer is ultimately the same. There is no requirement for a plan reviewer to be a PE. Non-PE officials can check and compare documents to Codes and Ordinances for compliance.

Professional Services Procurement Act (PSPA) Qualifications Based Selection (QBS) for engineering on public projects Responsibilities of Professional Engineers Responsibilities of Public Officials in RFQ / RFP process

Outreach Publication Government What is the Professional Services Procurement Act? Flowchart to assist building and code compliance officials.

PSPA scenario The local Independent School District has properly posted an RFQ and selected an engineering firm to be the prime professional for a new Auditorium/Gym. After negotiations, the ISD and the firm agree on a contract price. As the project progresses, the engineering firm contracts with a MEP engineering firm to address the HVAC, electrical and plumbing design.

PSPA The MEP firm calls you for assistance, because he has worked with you previously. You are a licensed P.E. with HVAC expertise and he asks you to give him a cost estimate to complete the HVAC for the new auditorium/gym.

What should a Texas PE do? A. Give him your best estimate of the cost. B. Wait for a proper authorization to proceed from the prime professional firm who has the contract with the ISD. C. Call the Board for authorization to provide the estimate. D. Ask the MEP firm if you have been selected as the HVAC engineering firm prior to providing any cost information. E. Respectfully decline to offer any cost or price information.

Best Answer D You must follow the Qualification Based Selection process by being selected prior to offering any cost or price information as outlined in the Professional Services Procurement Act (Chapter 2254 of the Texas Government Code) and as identified in the Board Rules, Section 137.53.

Outreach Publications Applicants How to Become a Licensed P.E. Benefits of Being a Professional Engineer.

Exemptions from Licensure Did you know??? Only about 20% of US engineers are licensed. Bureau of Labor Statistics (2013) 178,000 engineers in Texas (20% w/ Active licenses) Civil 23,500 in Texas (70% w/ Active licenses) Petroleum - 20,000 in Texas (11% w/ Active licenses) Industrial - 15,000 in Texas (2% w/ Active licenses)

Exemptions from Licensure Private Entities Privately owned Public Utilities License not required for engineering work on company (or utility) property or products with no Seal required. A Professional Fee exemption applies to a PE doing engineering work for one of these exempt entities

Industry Exemption scenario You are a licensed Texas PE. You just moved from a consulting position to working for a large Chemical manufacturer. Process engineers on staff are not licensed. Your work is related to building design exclusively on company property.

Industrial Exemption True or False? Using your Texas PE seal is not required for the work as described. True. The exemption in the TEPA pertains to the manufacturing, oil and gas, etc. companies, their employees or others under their direct control. A license is not required. The exception would be if the plans are required to be sealed for another entity such as a local government.

Industrial Exemption True or False? An engineer on staff for the company that is required to seal a document for any reason is not covered by the industrial exemption. True A Texas PE may not claim an industrial exemption if the use of the seal is required. If not covered by the exemption, the Professional Fee would be applicable.

Industrial Exemption True or False? An engineer on staff for the company may not use the title of P.E. on business cards or correspondence if he or she claims the exemption. False A Texas PE may use the title even if the exemption is claimed.

Law and Rules Board is authorized by the Texas Engineering Practice Act Board interprets and implements the statute to create Rules Other statutes and rules also apply to engineering (PSPA, Windstorm, Architectural Barriers/ADA, etc.) Texas Professional Engineers are expected to know the Act, Board Rules, applicable state laws and local codes.

Preventing Complaints CLEAR: Communication (between all parties) Contract (expectations and responsibilities) Calculations and designs (be prepared to support) Keep your Documentation Most importantly know the law, and contact us if you have a question!

Policy Advisory Opinions Provision Added to TEPA in 2003 Allows Board to develop formal written interpretations of law and rules Specific or hypothetical situations Interpretations Gray Areas Over 30 interpretations for a variety of subjects Water Quality Planning, Power Poles, Use of PE Title, Fire Alarm / Sprinklers, PSPA Contractors, Building Commissioning, etc.

Policy Advisory Opinions Information All Policy Advisories at: http://engineers.texas.gov/policy.htm How to submit PAO Request / Forms at: http://engineers.texas.gov/policy_advisory.htm

Policy Advisory Opinions Industrial Exemption / Licensure (May 2014) Licensure requirements for Internal Engineers vs External Engineers Consultants providing engineers to exempt industries Construction Management (May 2014) Certified Construction Managers are not all engineers. Who can legally perform which tasks?

Legislative News and Rulemaking

Legislation 84 th Session - 2015 Bill filing November, 2014 - March 13, 2015 4247 House Bills and 2058 Senate Bills Of those, 928 were filed on the last day Regular Session ended June 1 TBPE Tracked Bill progress Tracked approx. 230 bills Funding, Agency, Employees, Reporting, Licensing and Enforcement, etc.

Legislation 84 th Session - 2015 Bills affecting engineering or the Engineering Practice Act were tracked on the TBPE website: http://engineers.texas.gov/legislature84.html Professional Fee repeal Windstorm PE Indemnification related to government contracts Structural Engineering Use of unmanned aerial vehicles for engineering SDSI changes

Passed Legislation - 2015 Professional Fee Repeal (House Bill 7) Eliminates $200 annual fee Affects license renewals and new licenses issued Effective September 1, 2015 Automatically applied to renewals

Passed Legislation - 2015 Windstorm Roster Repeal (House Bill 2439) Subchapter N of Engineering Practice Act removed Effective September 1, 2015 But Delayed implementation due to provisions affecting insurance policies issued by TWIA through December 2016. TBPE will keep current process in place until then.

Passed Legislation - 2015 Military Licensing (Senate Bills 807 and 1307) Exempts application fees for qualifying Active duty, spouses and veterans and extends renewable period for active duty licensees Unmanned Aerial Vehicles (House Bill 2167) Allows unmanned aerial vehicles to be used for engineering and surveying. Contract Indemnification (House Bill 2049) Prohibits government contracts for engineering services from including preemptive Duty to Defend clause.

2013 Legislation SB 204 Agency Sunset Bill Enforcement Criminal History Record Checks 50,000 Licensees and Applicants submitted prints 4,300 Had some sort of incident of Texas or FBI record and were reviewed by staff 6 Enforcement cases opened for licensees 50 Applications required additional review or Board Action

2013 Legislation Criminal History Record Checks Still required for reactivations, new applicants and first renewals if you haven t done it FAQ and detailed Instructions on website: http://engineers.texas.gov/recordcheck.html

TBPE Rule Changes Legislative Implementation Fee Repeal Windstorm Roster Military Licensing Administrative Rules related to contracting and rulemaking

Decoupling TBPE Rule Changes Would allow PE exam to be taken while experience is being obtained. Increased flexibility for applicants Does not reduce licensing requirements. Requires system modifications

Schedule TBPE Rule Changes Board to consider changes at its meeting in August, 2015 Publish for 30 day comment period Texas Register and TBPE website Board will consider comments and revisions for possible adoption November 2015 Earliest effective date mid-december 2015

Update on NCEES August 2014 Model Law changes BS+30/Masters Or Equivalent moved from NCEES model law to a position statement Decoupling of PE exam from experience allows early PE exam in some states. CBT Computer Based Testing FE 2014 Exams began January 1, 2014 -- 8 Months / year 6 Hour Exam Continuous Registration

TBPE Initiatives

Journey Towards Excellence Quality Texas continuous improvement program Implementing Malcolm Baldrige Quality Principles TBPE has received recognition in 3 of the last 5 years.

Journey Towards Excellence Strategic Planning Customer Communications Visibility Communication Plan / External / Customer Service Organizational Resource Development Staff / Workplace / Internal Communication Innovation / Tools / Performance Measures

Agency Visibility PE Ethics Webinars March, June, September, December Sign up online FE Exam / Why become a PE? (Students) How to Apply (EITs)

Outreach continuing excellence Fiscal Year Attendees Presentations 2012 7,332 166 2013 11,559 177 2014 14,866 155 2015 (mid-year) 9,418 82 Quarterly Webinars Includes K-12 / E-Week

Thank You 1917 S Interstate 35, Austin, TX 78741 Phone: 512-440-3054 David.Howell@engineers.texas.gov http://engineers.texas.gov/outreachsurvey